Category: Unsuitable Investments
Erez Law is currently investigating Wells Fargo Clearing Services, LLC broker Michael Levine (CRD# 1785045) regarding unsuitable investment recommendations related to stocks. He has been registered with Wells Fargo Clearing Services, LLC in Short Hills, New Jersey, since 2008. In … Continue reading
Moloney Securities Co., Inc. broker Matthew Franchina (CRD# 5987117) faces a customer complaint related to unsuitable investment recommendations. He has been registered with Moloney Securities Co., Inc. in Manchester, Missouri, since 2016. Matthew Franchina Customer Complaints He has been the … Continue reading
Erez Law is currently investigating former Aegis Capital Corp. broker Anthony Tricario (CRD# 1047416) related to unsuitable investment recommendations. He has been registered with Aegis Capital Corp. in New York, New York from 2010 to 2020. In March 1992, New … Continue reading
UBS Financial Services Inc. broker Simon Clarke (CRD# 4232824) faces customer complaint related to unsuitable investment recommendations. He has been registered with UBS Financial Services Inc. in Boston, Massachusetts, since 2015. Simon Clarke Customer Complaints He has been the subject … Continue reading
Can I recover losses from investments with Cetera Investment Services LLC broker Mei Guo (CRD# 4201624)? He has been registered with Cetera Investment Services LLC in Monterey Park, California, since 2017. Mei Guo Customer Complaints He has been the subject … Continue reading
Can I recover losses due to investments with Western International Securities, Inc. broker Matthew Stratman (CRD# 5834026), who is accused of unsuitable investment recommendations? He has been registered with Western International Securities, Inc. in Westlake Village, California, since 2017. Matthew … Continue reading
There are options for customers of Sagepoint Financial, Inc. and Mackellar, James H. broker James Mackellar (CRD# 803007), who suffered investment losses. He has been registered with Sagepoint Financial, Inc. in Newbury Park, California, since 2008, and with Mackellar, James … Continue reading
Erez Law is currently investigating former BB&T Securities, LLC broker Emilio Guajardo Jr. (CRD# 4871764) regarding unit investment trust (UITs). He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in The Woodlands, Texas, since 2020. Previously, he … Continue reading
There are options for clients of H. Beck, Inc. broker Jeffrey Buck (CRD# 4884887) who suffered investment losses. He has been registered with Madison Avenue Securities, LLC in Honolulu, Hawaii, since 2019, and with Buck Wealth Strategies, LLC in Honolulu, … Continue reading
There are options for clients of Pruco Securities, LLC broker David Radford (CRD# 7272317), who is accused of unsuitable investment recommendations related to variable annuity losses. He has been registered with Pruco Securities, LLC and with Prudential Financial Planning Services … Continue reading